Filing Details
- Accession Number:
- 0001181431-11-016394
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-03-08 13:39:17
- Reporting Period:
- 2011-03-04
- Filing Date:
- 2011-03-08
- Accepted Time:
- 2011-03-08 13:39:17
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1296391 | Tengion Inc | TNGN | Biological Products, (No Disgnostic Substances) (2836) | 200214813 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1178496 | Healthcap Iv Lp | 18 Avenue D'Ouchy Lausanne V8 CH-1006 | No | No | Yes | No | |
| 1191691 | Healthcap Iv Bis Lp | 18 Avenue D'Ouchy Lausanne V8 CH-1006 | No | No | Yes | No | |
| 1488350 | Staffan Lindstrand | C/O Odlander, Fredrikson &Amp; Co. Ab Strandvagen 5B Stockholm V7 SE-114 51 | No | No | Yes | No | |
| 1488351 | Per-Olof Eriksson | C/O Odlander, Fredrikson &Amp; Co. Ab Strandvagen 5B Stockholm V7 SE-114 51 | No | No | Yes | No | |
| 1488352 | Per Samuelsson | C/O Odlander, Fredrikson &Amp; Co. Ab Strandvagen 5B Stockholm V7 SE-114 51 | No | No | Yes | No | |
| 1488356 | Healthcap Iv Gp Ab, L.l.c. | Strandvagen 5B Stockholm V7 SE-114 51 | No | No | Yes | No | |
| 1488357 | Healthcap Iv, K.b. | Strandvagen 5B Stockholm V7 SE-114 51 | No | No | Yes | No | |
| 1488359 | Odlander, Fredrikson & Co. Ab | Strandvagen 5B Stockholm V7 SE-114 51 | No | No | Yes | No | |
| 1488429 | Peder Fredrikson | C/O Odlander, Fredrikson Sa 18 Avenue D'Ouchy Lausanne V8 CH-1006 | No | No | Yes | No | |
| 1488430 | Sa Gp Iv Healthcap | 18 Avenue D'Ouchy Lausanne V8 CH-1006 | No | No | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock ($0.001 Par Value) | Acquisiton | 2011-03-04 | 1,356,916 | $2.83 | 2,332,567 | No | 4 | P | Indirect | See footnote |
| Common Stock ($0.001 Par Value) | Acquisiton | 2011-03-04 | 99,002 | $2.83 | 170,183 | No | 4 | P | Indirect | See footnote |
| Common Stock ($0.001 Par Value) | Acquisiton | 2011-03-04 | 980,480 | $2.83 | 1,685,465 | No | 4 | P | Indirect | See footnote |
| Common Stock ($0.001 Par Value) | Acquisiton | 2011-03-04 | 37,102 | $2.83 | 63,778 | No | 4 | P | Indirect | See footnote |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | See footnote |
| No | 4 | P | Indirect | See footnote |
| No | 4 | P | Indirect | See footnote |
| No | 4 | P | Indirect | See footnote |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock ($0.001 Par Value) | Common Stock Warrant (right to buy) | Acquisiton | 2011-03-04 | 1,356,916 | $0.00 | 1,356,916 | $2.88 |
| Common Stock ($0.001 Par Value) | Common Stock Warrant (right to buy) | Acquisiton | 2011-03-04 | 99,002 | $0.00 | 99,002 | $2.88 |
| Common Stock ($0.001 Par Value) | Common Stock Warrant (right to buy) | Acquisiton | 2011-03-04 | 980,480 | $0.00 | 980,480 | $2.88 |
| Common Stock ($0.001 Par Value) | Common Stock Warrant (right to buy) | Acquisiton | 2011-03-04 | 37,102 | $0.00 | 37,102 | $2.88 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 1,356,916 | No | 4 | P | Indirect | ||
| 99,002 | No | 4 | P | Indirect | ||
| 980,480 | No | 4 | P | Indirect | ||
| 37,102 | No | 4 | P | Indirect |
Footnotes
- Shares held directly by HealthCap IV, L.P. ("HealthCap LP"). HealthCap IV GP SA, L.L.C. ("HealthCap SA"), is the sole general partner of HealthCap LP and has voting and investment control over the shares held by HealthCap LP. HealthCap SA disclaims beneficial ownership of such shares, except to the extent of its pecuniary interest therein. Johan Christenson, Carl-Johan Dalsgaard, Per-Olof Eriksson, Anki Forsberg, Peder Fredrikson, Jacob Gunterberg, Staffan Lindstrand, Bjorn Odlander, Per Samuelsson and Eugen Steiner, the members of HealthCap SA, may be deemed to possess voting and investment control over the shares held by HealthCap LP and may be deemed to have indirect beneficial ownership of the shares held by HealthCap LP. Such persons disclaim beneficial ownership of shares held by HealthCap LP except to the extent of any pecuniary interest therein.
- Shares held directly by HealthCap IV, K.B. ("HealthCap KB"). HealthCap IV GP AB, L.L.C. ("HealthCap AB"), is the sole general partner of HealthCap KB and has voting and investment control over the shares held by HealthCap KB. HealthCap AB disclaims beneficial ownership of such shares, except to the extent of its pecuniary interest therein. Johan Christenson, Carl-Johan Dalsgaard, Per-Olof Eriksson, Anki Forsberg, Peder Fredrikson, Jacob Gunterberg, Staffan Lindstrand, Bjorn Odlander, Per Samuelsson and Eugen Steiner, the members of HealthCap AB, may be deemed to possess voting and investment control over the shares held by HealthCap KB and may be deemed to have indirect beneficial ownership of the shares held by HealthCap KB. Such persons disclaim beneficial ownership of shares held by HealthCap KB except to the extent of any pecuniary interest therein.
- Shares held directly by HealthCap IV BIS, L.P. ("HealthCap BIS"). HealthCap IV GP SA, L.L.C. ("HealthCap SA"), is the sole general partner of HealthCap BIS and has voting and investment control over the shares held by HealthCap BIS. HealthCap SA disclaims beneficial ownership of such shares, except to the extent of its pecuniary interest therein. Johan Christenson, Carl-Johan Dalsgaard, Per-Olof Eriksson, Anki Forsberg, Peder Fredrikson, Jacob Gunterberg, Staffan Lindstrand, Bjorn Odlander, Per Samuelsson and Eugen Steiner, the members of HealthCap SA, may be deemed to possess voting and investment control over the shares held by HealthCap BIS and may be deemed to have indirect beneficial ownership of the shares held by HealthCap BIS. Such persons disclaim beneficial ownership of shares held by HealthCap BIS except to the extent of any pecuniary interest therein.
- Shares held directly by OFCO Club IV ("OFCO Club"). Odlander, Fredrikson & Co AB, L.L.C. ("OFCO AB") is a member of OFCO and has voting and investment control over the shares held by OFCO Club. OFCO AB disclaims beneficial ownership of such shares, except to the extent of their pecuniary interest therein. Johan Christenson, Carl-Johan Dalsgaard, Per-Olof Eriksson, Anki Forsberg, Peder Fredrikson, Staffan Lindstrand, Bjorn Odlander, Per Samuelsson and Eugen Steiner, the members of OFCO AB, may be deemed to possess voting and investment control over the shares held by OFCO Club and may be deemed to have indirect beneficial ownership of the shares held by OFCO Club. Such persons disclaim beneficial ownership of shares held by OFCO Club except to the extent of any pecuniary interest therein.
- All or any part of the warrant shall be exercisable by the Reporting Person at any time and from time to time on or after the original issue date of March 4, 2011 and through and including 5:30 P.M., New York City time, on March 4, 2016. At 5:30 P.M., New York City time, on March 4, 2016, the portion of the warrant not exercised prior thereto shall be and become void and of no value and the warrant shall be terminated and no longer outstanding.
Billionaire Hedge Funds
